Broker-Dealers, Securities Trading and Markets

English

May 20, 2013 | Discussion and Drinks

The Galleon Case: An Insider’s View

London
February 20, 2013 | Practising Law Institute’s Broker-Dealer and Adviser Regulatory Compliance Forum 2013

Cross-Border Considerations for Broker-Dealers and Advisers

New York, NY*
*Webcast available
December 12, 2012 | Investment Company Institute Securities Law Developments Conference

Assessing Our Progress and the Path Forward: Regulatory Developments in the Fund Industry

Washington, DC
June 25, 2012 to June 27, 2012 | HFMWeek

Operational Leaders and Hedge Fund Legal Summits

Westchester, NY
January 4, 2012 | A Webinar Presented by Dechert LLP

New World of Asset Securitization: Risk Retention, Conflict of Interest, Reg A/B II

Webinar
December 13, 2011 | Investment Company Institute’s Securities Law Developments Conference

Life After Dodd-Frank: The Emerging Regulatory Landscape

Washington, DC

We advise on Regulation SHO and short selling issues
We successfully sought changes to SROs’ research analyst rules to recognize the expertise of technical analysts
We represented research providers in connection with proposed changes to soft dollar regulations
We formed broker-dealers engaged in market making, agency trading, retail sales and distribution, mergers and acquisitions, and the placement of private equity
We represented one of the world’s largest financial services firms and an ICI working group on the sale treatment of Rule 12b-1 revenue streams. We successfully persuaded the SEC, NASD, and FASB to permit “true sale” accounting for the sale of 12b-1 flows from B shares. This helped our client avert massive capital contributions to its broker-dealer subsidiary and preserved the industry’s ability to finance commissions on sales of B shares
We represented foreign mutual funds in connection with gaining access to the U.S. IPO market
We represented specialists in developing compliance procedures to prevent trading violations
We provided advice to clients regarding compliance with Regulation NMS and advocated on behalf of money managers, large brokerage firms, and market centers on issues presented by the proposed regulations